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Audit plan template

Audit plan template

Use this plan template to structure every phase of your audit process, from scope definition to risk analysis and reporting. Its clear layou helps your team keep focused on key tasks.

Use this template
or download pdf
Audit plan template

Use this plan template to structure every phase of your audit process, from scope definition to risk analysis and reporting. Its clear layou helps your team keep focused on key tasks.

Use this template
or download pdf

About the Audit plan template

This audit plan template gives you the framework to organize every phase–from defining objectives and risks to planning fieldwork and follow-up actions—so that your team’s time is well spent on meaningful insights. With a template designed for ease and thoroughness, you’ll maintain a higher level of consistency across audits. This ultimately drives greater accuracy and alignment with regulatory requirements for your organization.

Key elements of an audit plan template

To make your audit process more effective, your audit plan template covers a few essential areas:

  1. Audit scope and objectives: Start by clearly defining the scope and specific objectives for the audit. This section outlines what you aim to achieve and identifies the areas to focus on.
  2. Audit planning: This part organizes the logistics, laying out timelines, resource requirements, and key stakeholders. By identifying each participant’s role and responsibilities, you can keep everyone prepared and aligned on the audit’s needs.
  3. Risk assessment: A risk assessment pinpoints high-risk areas and enables you to prioritize them. By understanding where potential issues might arise, you create a proactive approach to manage and minimize risks throughout the audit.
  4. Audit procedures: Here, you’ll decide on the audit methods, such as interviews, document review, or data analysis.
  5. Reporting and follow-up: The last section focuses on communicating findings and recommending corrective actions. This makes it easier to track improvements, holding teams accountable and driving continuous improvement.

Benefits of using an audit plan template

An audit plan template is perfect when you need a structured, repeatable process to guide your team through each audit stage. This is especially useful for compliance-focused industries like finance, healthcare, or manufacturing, where keeping track of regulatory requirements is essential. An audit plan template ensures you’re capturing every detail, so nothing falls through the cracks.

If you’re conducting an internal audit to improve quality control or streamline operations, a template helps you standardize tasks across departments, keeping the entire team aligned. By using an audit plan template, you’ll avoid the common pitfalls of disorganization and focus more on analyzing and implementing key insights that drive improvement.

Download Lumiform’s audit plan template today

Take charge of your next audit with this easy-to-use template. Featuring customizable sections for goal-setting, risk assessment, task delegation, and more, this template makes it easy to stay on top of every step of the audit process, no matter the scale or industry. Download, customize, and use it as a practical tool for your next audit.

Related categories

  • Risk management and compliance templates
  • General templates
  • Templates for business processes
Preview of the template
Page 1
Audit Scope and Objectives
Clearly define the audit scope and objectives
Identify the audit period and any applicable regulations or standards
Determine the appropriate audit approach (e.g. financial, operational, compliance)
Audit Planning
Develop a detailed audit work plan and timeline
Identify key stakeholders and their roles
Determine resource requirements (e.g. audit team, technology, budget)
Risk Assessment
Conduct a thorough risk analysis of the audit area
Identify and prioritize high-risk areas
Develop risk mitigation strategies
Audit Procedures
Determine appropriate audit procedures (e.g. interviews, document review, data analysis)
Develop detailed audit programs for each area
Establish data requirements and sources
Audit Fieldwork
Conduct interviews with key personnel
Review relevant documentation and records
Perform data analysis and testing
Document findings and observations
Reporting and Follow-up
Prepare a comprehensive audit report
Communicate audit findings and recommendations to management
Establish a process to monitor and follow up on corrective actions

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Related resources

Access a complete set of resources aimed at maximizing safety, quality, and operational excellence, including detailed guides, related templates, and real-world use cases.

Topic guides

Read in-depth guides covering key topics related to this article.

Audit program: Key steps and best practicesCompliance audit mastery: A handbook for proactive businessesInternal audits: Your detailed guide to proper auditingLayered process audit (LPA): A complete guide to mastering product quality
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Template collections

See comprehensive collections of best practice templates related to this topic.

5 best free audit plan templates13 free quality audit checklists21 free compliance audit checklist templates13 free GMP audit checklists to improve compliance
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Use cases

Check out how the Lumiform software can be utilized for related use cases.

Audit program softwareCompliance audit softwareAudit softwareIssue management software
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Other resources

Explore all the additional resources we offer to assist you in mastering this topic.

4 compliance audit key objectives10 principles of operational excellenceHow to evaluate compliance measuresData gathering and data driven decision making in your business

Frequently asked questions

How do I write a good audit plan?

To write a strong audit plan, start by clearly defining your audit objectives and scope. Outline specific areas to focus on, such as compliance, financial processes, or operations. Include a timeline, allocate team roles, and identify key resources. Make sure to prioritize high-risk areas and establish clear reporting guidelines.

What’s a good way to determine the scope of an audit?

Determining audit scope begins with identifying the key goals and requirements of the audit. Consider regulatory standards, organizational risks, and areas that have had past issues. Focus on areas with the most impact on compliance and performance and consult with stakeholders to capture any specific concerns.

What should I do if unexpected issues arise during an audit?

Assess the impact of each issue on the audit’s objectives. Prioritize addressing critical problems immediately, and document each new issue along with potential solutions. Adjust the audit plan if necessary, consulting with stakeholders if the changes significantly impact timelines or findings.


This template, developed by Lumiform employees, serves as a starting point for businesses using the Lumiform platform and is intended as a hypothetical example only. It does not replace professional advice. Companies should consult qualified professionals to assess the suitability and legality of using this template in their specific workplace or jurisdiction. Lumiform is not liable for any errors or omissions in this template or for any actions taken based on its content.
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